Practice Areas

Arbitration, Litigation, Mediation

With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.

Investigations, Audits and Exams

Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.

Securities Employment Issues

Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.

Recent Posts

SEC Charges Oil Company CEO, Board Member With Hiding Personal Loans

The Securities and Exchange Commission today charged the former CEO of Energy XXI Ltd. with hiding more than $10 million in personal loans that he obtained from company vendors and a candidate for Energy XXI’s board.  At the time of the alleged misconduct, Energy XXI was NASDAQ-listed and one…

SEC Files Charges in Busted Microcap Schemes

Last weeks the SEC announced that it has charged a stock promoter and four others involved in an alleged series of microcap fraud schemes that were foiled by FBI undercover work and an SEC trading suspension.

According to the SEC’s complaint,a stock promoter Gannon Giguiere took control of…